Unclaimed Profile

John Caldwell Helmer

CALDWELL SUTTER CAPITAL, INC.·SAUSALITO, California

SIE, Series 1, Series 7TO, Series 24, Series 27, Series 53, Series 55, Series 57TO, Series 66, Series 87, Series 99TOClean record15 years registeredCALDWELL SUTTER CAPITAL, INC.

30 LIBERTY SHIP WAY #3225, SAUSALITO, CA 94965CRD# 242398Firm CRD# 10489

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Caldwell Helmer · SAUSALITO, CA

Registration

CRD #242398 · CALDWELL SUTTER CAPITAL, INC. · 15 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

Sep 2010 – Jan 2024

ALAMO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 24

Series 27

Series 53

Series 55

Series 57TO

Series 66

Series 87

Series 99TO

Registration record

First registered · September 21, 2010

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CALDWELL SUTTER CAPITAL, INC.

CRD 10489 · SEC 801-66098

AUM

$571M

Regulatory assets under management

Employees

1,225 client accounts

Services offered by CALDWELL SUTTER CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CALDWELL SUTTER CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does John Caldwell Helmer offer?

John Caldwell Helmer specializes in Financial Planning, Investment Management.

What are John Caldwell Helmer's credentials?

John Caldwell Helmer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Caldwell Helmer located?

John Caldwell Helmer is based in SAUSALITO, California, last registered with CALDWELL SUTTER CAPITAL, INC..

How does John Caldwell Helmer charge for services?

John Caldwell Helmer's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CALDWELL SUTTER CAPITAL, INC.?

CALDWELL SUTTER CAPITAL, INC. has approximately 20 employees and manages $571M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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